Advisers on the Move

Never miss a move. The industry's only comprehensive database of financial advisers and brokers changing firms. View over a decade of recruiting activity at wirehouses, regional brokerages, RIAs and independent broker-dealers.

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Recruiting Scoreboard (Q4 2020)

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Latest moves

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Adviser(s) Firm joining Firm leaving AUM ($M) Date
John Leon KozarLPL Financial LLCWaddell & Reed05-29-2020
Scott Bradley SwinchockLPL Financial LLCWaddell & Reed$2305-29-2020
Brian Christopher LauerCambridge Investment Research, Inc.Waddell & Reed11-01-2019
Patrick R BarryCambridge Investment Research, Inc.Waddell & Reed11-01-2019
William Earl Benner IIIAviator Financial, LLCWaddell & Reed02-22-2019
Janet Ellen BarrettCWM, LLCWaddell & Reed$1012-07-2018
Edward Albert ThomasWatchtower Wealth Management, Inc.Waddell & Reed08-20-2018
Robert Michael ShieldsLPL Financial LLCWaddell & Reed$10007-02-2018
Richard Paul BaurLPL Financial LLCWaddell & Reed06-29-2018
Jose Rizal T Pangilinan JrLPL Financial LLCWaddell & Reed05-25-2018
Jeffrey Allen MillsCambridge Investment Research, Inc.Waddell & Reed$10004-06-2018
Ralph Leslie Thrush IIIAmeriprise Financial Services, LLCWaddell & Reed03-09-2018
Robert Thomas SmalanskasPNC InvestmentsWaddell & Reed02-01-2018
James Christian KaiserGood Life Advisors, LLCWaddell & Reed$8512-13-2017
Nicholas Curinga IIIGood Life Advisors, LLCWaddell & Reed$2512-13-2017
Philip T WebbGood Life Advisors, LLCWaddell & Reed$2512-13-2017
Francis George Giamboy JrCitizens Securities, Inc.Waddell & Reed11-07-2017
Matthew Paul GuntherCitizens Securities, Inc.Waddell & Reed10-16-2017
Patricia Ann MarschnerCambridge Investment Research, Inc.Waddell & Reed09-07-2017
Lindsey Marie CiarroccaHornor, Townsend & Kent, LLCWaddell & Reed08-22-2017
Lutelles L WhiteTIAA-CREF Individual & Institutional Services, LLCWaddell & Reed05-22-2017
Brian William CaseyAllstate Financial Services, LLCWaddell & Reed03-03-2017
Timothy Joseph SepsiSagePoint Financial, Inc.Waddell & Reed12-16-2016
Paul Mark LantzPrincipal Securities, Inc.Waddell & Reed$1003-25-2016
Jonathan Key MenzerPNC InvestmentsWaddell & Reed01-27-2016
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Showing 1 to 25 of 49 entries

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Disclaimer & Methodology: The InvestmentNews Advisers on the Move database is designed to capture all recruiting activity of retail financial advisers/teams of advisers as they move from one firm to another. The activity recorded within the database comes from a number of sources, including InvestmentNews and other media reports; press releases; direct submissions that have been reviewed by InvestmentNews; and regulatory filings. To qualify as a move, no more than 60 days can have elapsed between the date an adviser/team leaves one firm and the date they join another. Any adviser registration changes that came as a result of merger & acquisition activity are not recorded as moves in the database. Finally, please note that all AUM data is user-submitted and is not audited by InvestmentNews or any regulatory agency. When AUM data is unavailable, a “ — “ is listed in the record’s AUM field entry. All data and information is the property of InvestmentNews LLC and is protected by copyright and other intellectual property laws. All rights are reserved by InvestmentNews LLC. Data may only be viewed on InvestmentNews.com and can not be resold, republished, redistributed, sublicensed, or copied for any other use without the permission of InvestmentNews LLC.